COMPLIANCE

Compliance Officer at Research Via Investor Advisor keeps track of and comply with new SEBI guidelines for investment advisors. Mr. Hariom Kushwah accepted the new position on March 10, 2014 and is directly reporting to the board of directors. Hariom holds an MBA from AISECT Indore (DAVV Indore University). Having worked with sub brokers in administrative roles for the past 2 years has helped him grasp a deep knowledge of the financial industry and its compliances. Hariom has been given the charge to comply with SEBI guidelines pertaining to KYC, client risk profiling and investment advice record keeping at Research Via. Systems and procedures are being actively developed to manage the recordkeeping and regular communication.

Email ID : compliance@researchvia.com Contact : 9300856450

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